| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Luk Fook Capital (HK) Limited | RO | 就機構融資提供意見 | 2020-03-31 | 2022-02-14 |
| RO | 證券交易 | 2020-03-31 | 2022-02-14 | |
| Rep | 就機構融資提供意見 | 2020-02-26 | 2020-03-31 | |
| Rep | 證券交易 | 2020-02-26 | 2020-03-31 | |
| LUK FOOK SECURITIES (HK) LIMITED | Rep | 就證券提供意見 | 2020-02-26 | 2022-02-14 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 就證券提供意見 | 2016-08-17 | 2019-08-31 |
| HAITONG INTERNATIONAL CAPITAL LIMITED | RO | 就機構融資提供意見 | 2013-05-07 | 2019-08-31 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | RO | 證券交易 | 2013-05-07 | 2019-08-31 |
| South West Capital Limited (d2013-12-11) | RO | 就機構融資提供意見 | 2012-04-20 | 2013-01-28 |
| RO | 證券交易 | 2012-04-20 | 2013-01-28 | |
| Octal Capital Limited | RO | 證券交易 | 2011-11-24 | 2012-04-16 |
| RO | 就機構融資提供意見 | 2011-06-01 | 2012-04-16 | |
| FIRST SHANGHAI CAPITAL LIMITED | RO | 就機構融資提供意見 | - | 2011-05-31 |
已採集記錄中暫無金管局登記。